Explanatory Memorandum to COM(2013)500 - Participation of the Union in the Active and Assisted Living Research and Development Programme jointly undertaken by several Member States - Main contents
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| dossier | COM(2013)500 - Participation of the Union in the Active and Assisted Living Research and Development Programme jointly undertaken by ... |
|---|---|
| source | COM(2013)500  |
| date | 10-07-2013 |
The objective of this proposal is the decision by Council and Parliament, on the basis of Article 185 of the TFEU, to provide the legal means for the participation by the European Union in the Active and Assisted Living Joint Programme undertaken by several Member States (AAL Programme).
The overall objectives of the AAL Programme are:
· Enhance the availability of Information and Communication Technology (ICT) based products and services for active and healthy ageing, to improve the quality of life for elderly and their carers and help increase the sustainability of care systems;
· Maintain a critical mass of trans-European applied research, development and innovation for ICT based products and services for ageing well, in particular involving SMEs and users;
· Leverage private investments and improve conditions for industrial exploitation by providing a coherent framework for developing European approaches and solutions including common minimum standards that meets varying national and regional social preferences and regulatory aspects
Demographic ageing has been identified in the Europe 2020 strategy as both a challenge and an opportunity for smart, sustainable, and inclusive growth. The flagship initiatives “A Digital Agenda for Europe” and “Innovation Union” both address demographic ageing as a priority. The Digital Agenda focuses on ICT-enabled innovative services, products and processes, and includes several actions on eHealth and a specific action on reinforcing the AAL Programme. The AAL Programme will make an important contribution to the Europe 2020 strategy and related flagship initiatives and will help addressing the demographic challenge and create new opportunities, in particular for small and medium size enterprises The European Innovation Partnership on Active and Health Ageing (EIP AHA) expects ICT solutions to play an important role in meeting its goals of two additional healthy life years by 2020 as well as improving quality of life for citizens and improving efficiency of care systems in Europe. The AAL Programme is a major component for supporting the EIP AHA with ICT-based innovation as it focuses on the 'Valley of Death' part of the innovation chain where research results need to be translated into new products and services ready to enter the market. The AAL Programme will also benefit from the EIP, because the EIP will accelerate market creation, large scale uptake and also contribute to improved boundary conditions for the market: standardisation and interoperability for example, which are not covered by the Programme, but are mentioned in evaluation and consultations as barriers to deployment. The AAL Programme is complemented by major national initiatives, such as a national initiative on AAL and ageing in Germany, an Assisted Living Innovation Platform in the UK and a Platform on Innovation in Ageing in France.
With these inter-related programmes that jointly cover a significant part of the research and innovation ‘chain’, Europe has a globally unique strength in ICT for ageing well. The AAL Programme complements well the proposed ICT and ageing longer-term research and innovation and market validation activities under the Horizon 2020 Framework Programme.
The AAL Programme is also complementary to the 'More Years, Better Lives' Joint Programming Initiative (JPI) on demographic change that brings together 13 European Countries, to address new science based knowledge for future policy making on ageing, based on a wide range of research disciplines. The AAL Programme can provide an application context for the JPI’s multi-disciplinary research and feed the JPI research agenda with user experience, while sharing research methodologies such as the life course approach.
Taken together, these initiatives cover a large part of the chain from fundamental research to market uptake, as recommended by a number of independent assessments on EU research and innovation programmes, as well as EU policy documents. These synergies will be further strengthened under the Commission's proposal for Horizon 2020, the Framework Research Programme for 2014-2020, which has a specific section for societal challenges, with Health, Demographic Change and Wellbeing as one of the priorities. The AAL Programme is mentioned as one of the Article 185 TFEU initiatives eligible for continued support, provided they meet a given set of criteria.
Contents
- RESULTS OF CONSULTATIONS WITH THE INTERESTED PARTIES AND IMPACT ASSESSMENTS
- LEGAL ELEMENTS OF THE PROPOSAL
- BUDGETARY IMPLICATION
- 1.1. Objectives of the proposal
- 1.2. Grounds for the proposal
- 2.1. Consultation on the future on the AAL JP
- 2.2. The policy options
- 2.3. Consultation on the impact assessment
- 3.1. Legal basis
- 3.2. Subsidiarity principle
- 3.3. Proportionality principle
- 3.4. Choice of the instrument
- 3.5. Derogations from the Horizon 2020 Rules for Participation
- 5. OPTIONAL ELEMENTS
- 5.1. Simplification
- 5.2. Review/revision/sunset clause
- 5.3. European Economic Area
The Commission has consulted the plans for the AAL Programme with several external and internal stakeholders. The online Public Consultation on the EIP-AHA carried out in 2011 reached 524 respondents which expressed their views on the existing national, regional and local initiatives for active and healthy ageing; from. About 38% of responses came from government institutions, 23% from the industry including SMEs, 7% from the health and social care sector, 17% from the research and academia and 15% from the organisation representing the older people. The consultation showed that there is an insufficient involvement of end-users in the development stage, which is the most significant barrier to innovation.
An interim evaluation of the current AAL JP was carried out in December 2010 by five high level experts headed by former Commissioner M. Kuneva. It included interviews with over 40 selected stakeholders across Europe directly involved in the AAL JP value-chain. About 33% of them came from government institutions, 27% from the industry including SMEs, 27% from the research and academia and 11% from the organizations representing older people. The evaluation panel stressed that it is important for the AAL JP and its follow-up to ensure high operational performance, further increase focus on broadly targeted solutions in real life situations, promote technology for carers and intermediaries and strengthen links with users and ensure deployment activities.
Furthermore public online consultation on the AAL JP was carried out in 2010 and projects funded under the AAL JP were surveyed in 2011.
The Commission has also consulted its different part through Impact assessment Steering Group meetings in 2012, which contributed to the planning and roadmap for the preparation of the Impact assessment report, in particular concerning the problem statement and the relevance of the AAL JP to other DGs. The Art. 185 Coordination Group led by DG RTD contributed to the structure and argumentation of this report.
The Impact assessment report included the following options:
Option 1 - AAL JP2 identical to AAL JP1 - This business as usual- option is baseline scenario presenting the continuation of the AAL JP for the years 2014 – 2020, just as the current AAL JP which runs from 2008 to 2013.
Option 2 - No AAL JP2 - This option entails that there is no dedicated EU programme and co-financing to bring together national research and innovation programmes in the field of ICT for ageing well at the EU level after 2013. The money reserved for the follow up to the AAL JP under the proposed H2020 could be spent – if it was adopted – on additional research for ageing well within H2020 framework.
Option 3 - This option of the follow-up to AAL JP1 would comprise an adapted scope and improved implementation. The scope of the AAL JP2 programme would be aligned to the full scope of the EIP AHA. Besides the Active Ageing and Independent Living pillar of EIP AHA also the other two pillars would covered: Prevention, screening and early diagnosis, and Care and Cure. Due to the change of the scope by the alignment to EIP AHA, the name of the programme would change from Ambient Assisted Living JP to Active and Assisted Living JP. The programme would be co-financed by the Member States as well as project participants as during the current AAL JP 2008 to 2013. The level of EC financing from Horizon 2020 would remain the same as under the FP7. This option would also entail higher involvement of end-users, broadening the basis of funding to all actors, and improving the operational performance.
These options were reviewed in February 2012 by the AAL JP General Assembly, which concluded by vote that continuing the programme is of strategic importance and 15 out of 23 currently participating countries stated their preferred scenario is the Option 3. The second preferred option was to continue the programme in its current form represented by the Option 1. Only two countries would not support the continuation of the programme – Option 2.
In November 2012, the Impact Assessment Board reviewed and approved the report. In its Opinion it requested improvements of the impact assessment report which have been taken into account. In particular the report now better explains the policy context, the remaining problems, market failures and the baseline scenario. The objectives were revised to provide solid basis for the measurement of the progress of the AAL JP2. Different funding scenarios were illustrated in a more comprehensive manner in the sensitivity analysis and the possible social and health impacts were further developed. Finally the comparison of options in terms of effectiveness, efficiency and coherence was included.
The proposal for the AAL Programme is based on Article 185 of the Treaty on the Functioning of the European Union (TFEU), which foresees that the Union may make provision for the participation of the European Union in research and development programmes undertaken by several Member States, including participation in the structures created for the execution of those programmes.
The subsidiarity principle applies as the proposal does not fall under the exclusive competence of the European Union. Subsidiarity is safeguarded by basing the proposal on Article 185 which explicitly foresees the participation of the Union in research programmes undertaken by several Member States. By implementing all operational aspects where possible at national level, while ensuring a coherent approach at the European level of the joint programme.
The objectives of the proposal cannot be sufficiently achieved by the Member States alone as the specific knowledge and excellence required for research and development of ICT based products and services for ageing are spread across national borders and hence cannot be combined at national level only. Without a coherent approach at European level with critical mass, there is a high risk of duplication of efforts with the consequence of increased costs. Furthermore, it is unlikely that a genuine internal market for interoperable ICT solutions for ageing well can be established without a joint programme with a European dimension.
The EU added value is directly linked to the problems: fragmentation of the EU market and of research efforts, a lack of focus on trans-EU deployment and a lack of a shared European vision on the markets for ICT and ageing well.
Article 185 of the TFEU invites the Union to ‘make provision, in agreement with the Member States concerned, for participation in research and development programmes undertaken by several Member States, including participation in the structures created for the execution of those programmes’. Member States are the driving force of the initiative.
The proposal complies with the proportionality principle as Member States will be responsible for developing their joint programme and all operational aspects. The dedicated implementation structure AAL Association has already demonstrated for the current AAL JP that it can implement the programme efficiently and effectively. The Union will provide incentives for improved coordination, ensure synergies with and contribution to EU policies and to the priorities of Horizon 2020, monitor implementation of the programme and ensure the protection of the EU’s financial interests.
Notably, the proposed organisational structure ensures a minimum of administrative burden, by having the main administrative work being executed through national agencies under the supervision and overall responsibility of the AAL Association created for this purpose.
The proposed instrument is a Decision by European Parliament and Council based on Article 185 of the TFEU. The conclusions of the interim evaluation and an analysis of the options in the impact assessment have demonstrated that Article 185 is the most appropriate means for achieving the objectives of the AAL programme.
Derogations from the following provisions of Regulation (EU) No … [Rules for the participation and dissemination in Horizon 2020] are necessary to allow for the Union financial contribution and Intellectual Property Rights protection to be implemented in accordance with the rules for participation of the participating national programmes.
· Verification of financial capacity extended to all the participants and performed by participating national funding agencies: Art. 14.5
· The dedicated implementation structure does not enter into agreement with the final beneficiaries: Art. 16(1)
· Application of national rules for funding, eligibility of costs, certificates on the financial statements and certificates on the methodology: Art. 19[(1), to (7)] and Art. 22-29
· Rules governing IPR and dissemination of results following national rules: Art. 38-45
This is justified because the AAL Programme is intended as a close to market programme, in which many different national funding streams are joined up (such as research innovation, health and industry funding programmes). These programmes have by their nature different participation rules and cannot be expected to fully align with Horizon 2020 Rules for Participation.
In addition the AAL Programme is targeting in particular small and medium size enterprises and user organisations not usually participating in EU research and innovation activities. In order to lower the administrative and legal threshold for their participation, the Union financial contribution is provided in accordance with the rules of their national funding programmes which they are more used to and implemented through a single grant together with the corresponding national public support. The AAL JP (2008-2013) has demonstrated that this approach has worked well and has allowed to attract a high participation of more than 40% of small and medium size enterprises.
The proposal provides appropriate safeguards to guarantee respect of the principles of equal treatment and transparency by the dedicated implementation structure when providing financial support to third parties, as well as for the protection of the financial interests of the Union. It also foresees the inclusion of detailed provisions to this effect in an agreement to be concluded by the Union and the dedicated implementation structure.
The Legislative Financial Statement presented with this decision sets out the indicative budgetary implications. The provisions of the Decision and of the delegation agreement to be concluded between the Commission and the dedicated implementation structure must ensure that the EU’s financial interests are protected.
The maximum amount EU contribution shall be EUR [175,000,000 from the Horizon 2020 DG Connect budget allocated to Societal Challenge 1, theme health, demographic change and wellbeing:[2]
The proposal provides for simplification of administrative procedures for private parties. Notably, recipients of the research funding from the new joint programme will benefit from a single contracting and payment scheme using familiar national rules without any need for separate reporting concerning the Union contribution. The EU will deal directly with the AAL Association, which will be in charge of allocating, monitoring and reporting on the use of the EU’s contribution.
The proposal includes a review clause for a mid-term review after three years. The overall duration will be limited to seven years of intervention and three additional years of completion.
The proposed act concerns an EEA matter and should therefore extend to the European Economic Area.